Compliance Analyst

IEX is looking for a self-motivated individual to join our lean but imperative Compliance team. This person will be reporting directly to the Chief Compliance Officer and primarily responsible for compliance monitoring and testing, creating and maintaining firm policies and procedures, and assisting with regulatory examinations. The ideal candidate must be a detail-oriented diligent worker with excellent written and verbal communication skills, in order to develop relationships with key stakeholders across the organization. Experience working in a compliance role or legal environment is a plus, but a willingness to learn, uncompromising integrity, and a firm commitment to changing Wall Street for the better is a must have.

Characteristics of the ideal candidate:

  • Strong work ethic
  • Intellectual curiosity and willingness to learn
  • Trustworthiness and discretion
  • Attention to detail
  • Self-motivated & proactive
  • Collaborative team-player
  • Firm commitment to the core values of IEX - belief in fairness and transparency in the financial markets
  • Unwavering integrity & ethically principled
  • Strong analytical skills with an ability to understand, interpret, and apply complex rules and regulations
  • Fast Learner

Primary Responsibilities

  • Compliance monitoring and testing to ensure firm’s continued compliance with applicable rules
  • Conducting electronic communications reviews
  • Creating and maintaining firm policies and procedures
  • Assisting with regulatory examinations, audits, and compiling form filings
  • Monitoring of various EOD and T+1 order handling reports and real-time monitoring tools
  • Enforcing employee trading policy, including monitoring of employee personal trading accounts

Job Qualifications

  • Bachelor’s degree, preferably in business 
  • Minimum of 2 years’ experience in a compliance related role
  • Working knowledge of securities laws, FINRA rules, SEC and SRO rules, and AML regulations
  • Excellent written and verbal communication skills – articulate and expressive
  • Nice to have:
    • Series 7 and 63 licenses (must attain, if not already held)
    • Understanding of trading ecosystem and market microstructure
    • J.D.

Meet Some of IEX Group's Employees

Tara M.

Co-Founder & Office Manager

Tara has a hand in all IEX's internal and external projects and procedures. She manages everything from office redesigns to employee event planning to scheduling for IEX's Executive Team.

Gerald L.

Marketing & Communications

Gerald makes certain IEX's forward-thinking philosophy gains public recognition. He supports and attracts new subscribers by coordinating promotional media and press coverage.

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